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GENERAL FUNCTION: Under moderate supervision, receives and enters trades from Investment Executives and customers of Fifth Third Securities. Provides value-added services to both 5/3rd Securities Investment Executives and their customers concerning trade execution and the various exchanges on which trades take place.

Responsible and accountable for risk by openly exchanging ideas and opinions, elevating concerns, and personally following policies and procedures as defined. Accountable for always doing the right thing for customers and colleagues, and ensures that actions and behaviors drive a positive customer experience. While operating within the Bank’s risk appetite, achieves results by consistently identifying, assessing, managing, monitoring, and reporting risks of all types.

ESSENTIAL DUTIES & RESPONSIBILITIES:

• Receive and execute trade instructions from customers both directly and as a backup for unavailable Investment Executives and their assistants.
• Accurately enter stock, mutual fund, bond, option, and UIT orders through NFS.
• Maintain blotters of daily activity to satisfy compliance requirements.
• Review and execute trades submitted through voice or Internet systems.
• Arrange and monitor special settlement instruction requests for trades placed.
• Execute broker requests for trade error corrections, requesting corrections through NFS and monitoring their successful completion.
• Maintain and update gain and loss spreadsheets for errors.
• Assist Investment Executives in all aspects of NFS trading system.
• Ability to service both Investment Executives and clients of 5/3rd Securities in a professional and accurate manner.
• Respond to calls regarding margin calls, Reg T buy-ins and sell-outs, status of transfers, and all other issues related to client accounts for Financial Advisors.

SECONDARY DUTIES & RESPONSIBILITIES:

• Answer a variety of account and/or procedure inquiries.
• Answer questions on how to open new brokerage accounts and process maintenance requests on existing accounts.
• Communicate, explain and process current account settlement instructions for sweeps, periodic investments, systematic withdrawal, dividend reinvestment, and ACH.

SUPERVISORY RESPONSIBILITIES: None.

MINIMUM KNOWLEDGE, SKILLS AND ABILITIES REQUIRED:

• Understand all aspects of equity and mutual fund trading, including stop orders, limit orders, market orders, GTC orders, margin requirements, and option orders.
• Ability to work in a stressful environment, meet deadlines, and service accounts with high attention to detail.
• Problem-solving abilities and critical thinking skills.
• Ability to multi-task.
• Excellent oral and written communication skills.
• Strong math and organizational skills.
• PC literacy with proficiency in Windows and Microsoft Products, especially Excel.
• Understanding of quote systems required.
• Four-year college degree with business, accounting or related discipline. Experience in a similar position in the industry will be considered in lieu of a college degree.
• 1-3 years previous brokerage industry experience.
• Series 7 and Series 63 licenses required.

At Fifth Third, we understand the importance of recognizing our employees for the role they play in improving the lives of our customers, communities and each other. Our Total Rewards include comprehensive benefits and differentiated compensation offerings to give each employee the opportunity to be their best every day.

The base salary for this position is reflective of the range of salary levels for all roles within this pay grade across the U.S. Individual salaries within this range will vary based on factors such as role, relevant skillset, relevant experience, education and geographic location.

Our extensive benefits programs are designed to support the individual needs of our employees and their families, encompassing physical, financial, emotional and social well-being. You can learn more about those programs on our 53.com Careers page at: https://www.53.com/content/fifth-third/en/careers/benefits.html or by consulting with your talent acquisition partner. 

Attention search firms and staffing agencies: do not submit unsolicited resumes for this posting.  Fifth Third does not accept resumes from any agency that does not have an active agreement with Fifth Third.  Any unsolicited resumes – no matter how they are submitted – will be considered the property of Fifth Third and Fifth Third will not be responsible for any associated fee.

Fifth Third Bank, National Association is proud to have an engaged and inclusive culture and to promote and ensure equal employment opportunity in all employment decisions regardless of race, color, gender, national origin, religion, age, disability, sexual orientation, gender identity, military status, veteran status or any other legally protected status.